Welcome to the
World of
Compliance
Kimberli Bowman
and
Susan Peal
NCAA Membership Services
Session Topics
NCAA overview.
Institutional control.
Key elements in a
compliance program.
Developing compliance
procedures.
The NCAA is…
the “membership” or “members”
the colleges, universities and athletic conferences.
• Appoint volunteer representatives that serve on committees which
introduce and vote on rules.
• Establish programs to govern, promote and further the purposes and
goals of intercollegiate athletics.
The NCAA is…
the “national office”
370 staff members
• Implement the rules and programs established by the membership.
• Administer 88 championships in 23 sports. More than 44,900
student-athletes annually compete for national titles.
• National office headquarters - Indianapolis, Indiana.
Myles Brand
NCAA President
The NCAA is…
the “Association”
Members + Staff = the Association
• Bottom-up organization
Association.
in
which
the
members
rule
the
Association-wide
Committees
Executive Committee
Eight I-A members from Division I Board of Directors
Two I-AA members from Division I Board of Directors
Two I-AAA members from Division I Board of Directors
Two members from Division II Presidents Council
Two members from Division III Presidents Council
Ex Officio members:
NCAA President
Chairs of Divisions I, II and III Management Council
Division I
Board of Directors
Division II
Presidents Council
Division III
Presidents Council
(presidents and chancellors)
(president and chancellors)
(presidents and chancellors)
Division II
Management Council
Division III
Management Council
(athletics administrators
faculty athletics representatives)
(presidents and chancellors,
athletics administrators, faculty athletics
representatives and student-athletes)
Division I
Management Council
(athletics administrators
faculty athletics representatives)
Division I
Committees and Cabinets
Division II
Committees
Sport and Rules Committees
Division III
Committees
Institutional Control
NCAA Constitution 2.1.1 – Responsibility for Control.
It is the responsibility of each institution to control its
intercollegiate athletics program in compliance with the
rules and regulations of the Association.
Key Elements In A
Compliance Program
Communication.
Organization.
Documentation.
Evaluation.
Communication
Demonstrate the institution’s commitment to rules
compliance through oral and written communications
with various campus entities.
Organization
Senior-level institutional administrators assume
leadership roles in establishing the institution’s
commitment to compliance initiatives.
Institutional staff assume responsibility for rules
knowledge and compliance.
Clearly define compliance procedures including key
individuals and the their tasks and responsibilities.
Documentation
Compliance is a central element in the athletics
department and involves the campus community
through the documentation of policies and
procedures.
Evaluation
Ensure continuing and regular administrative oversight
in key compliance areas.
Periodic review of the rules compliance program by an
institutional authority outside the athletics department.
How to Survive
in the Compliance World?
Defining My Role
FAR
Registrar
Admissions
Financial
Athletics
Department
Compliance
Aid
Office
Academic
Coaches
Support
Student
Internal
Affairs
Auditor
Developing Compliance
Procedures
Compliance committee.
Rules-education methods.
Interpretation procedures.
Investigating and self-reporting
procedures.
Ongoing compliance tasks.
Compliance resources.
Establish a Compliance Committee
Document and evaluate compliance policies and
procedures.
Assist in rules education.
Communicate importance of rules compliance to the
campus community.
Assist in rules-violations investigations.
Serve as an advisory group.
Complete monitoring tasks.
Example of a Compliance Committee
 Director of athletics.
 Senior woman administrator.
 Admissions office
representative.
 Compliance coordinator.
 Dean of students office
representative.
 Faculty athletics
representative.
 Faculty representative.
 Registrar’s office
representative.
 Financial aid office
representative.
 Student-athlete
representative.
 Athletics board representative.
 Coaches.
Rules-Education Methods
 Written materials.
 Meetings.
 Correspondence with prospects and athletics
representatives.
Written Materials
– Avoid excessive distribution of memorandums.
– Focus on specific topics relevant to the recipients.
– Develop a compliance manual.
– Highlight specific areas of other resource materials.
– Develop a monthly newsletter.
Meetings
– Develop an annual rules-education calendar with
monthly sessions on specific topics.
– Highlight significant areas of compliance in departmental
staff meetings.
– Conduct legislation meetings to discuss proposed and
adopted legislation.
– Prepare coaches for the certification test.
Meetings
– Vary technique in presenting information.
– Keep sessions and information simple.
– Use competitive games.
– Involve the institutional community as presenters and
participants.
– Target the specific audience.
Correspondence with Prospects and
Athletics Representatives
– Effective communication with boosters includes
newsletters, alumni publications, game programs and
mailings to season-ticket holders.
– Educate prospects through regular institutional
correspondence early in the recruiting process.
Interpretation Procedures
Maintain documentation of all rules interpretations.
Include in the records:
• The name of the individual requesting the information.
• The issue or question.
• The name of the individual who provided the interpretation.
• The answer and source of the answer provided.
• Date requested and date answered.
Investigating and Self-Reporting Procedures
– Establish defined procedures for investigating alleged
violations and self-reporting discovered violations.
Ongoing
Compliance Tasks
Recruiting
Official and unofficial visits.
National Letter of Intent (Divisions I and II only).
Telephone logs (Divisions I and II only).
Contact/evaluation logs (Divisions I and II only).
Tryouts (Division II only).
Eligibility
Initial eligibility (Divisions I and II only).
•
•
•
•
Institutional request list.
NCAA Initial-Eligibility Clearinghouse status reports.
Final certification reports.
Waivers.
Continuing eligibility.
•
•
•
•
•
•
Satisfactory progress (Division III only).
Progress toward degree (Divisions I and II only).
Full-time enrollment.
Drop-add.
Summer school.
Waivers or exceptions.
Eligibility
Transfers.
• Permission to contact.
• Transfer requirements.
• Eligibility exceptions.
Eligibility reports.
Hardship waivers.
Outside competition.
Amateurism.
Student-athlete statement.
Affirmation of eligibility.
Drug-testing consent.
Financial Aid
Squad lists.
Noncounter certification.
Grant-in-aids.
Renewals/reduction/cancellations.
Outside grants.
Off-campus stipends.
Student-athlete employment.
Financial aid electronic reporting process (Division III only).
Playing and Practice Seasons
Playing and practice seasons declarations.
Contest limitations.
Countable athletics activities logs.
Participation records.
Membership requirements.
Miscellaneous
Camps and clinics.
Personnel (Divisions I and II only).
• Coaching designations.
• Coaches certification.
• Outside income.
• Speaking engagements.
Special Assistance and Special Opportunity Funds (Division I only).
Promotional activities.
Compliance manual.
Institutional and conference compliance forms.
NCAA required forms.
Compliance Resources
Technology.
• Compliance Assistant internet (CAi).
• LSDBi (https://goomer.ncaa.org/wdbctx/LSDBis/LSDBI.home).
• NCAA Web site (www.ncaa.org).
• Institutional compliance Web page.
Compliance Web Page
Welcome to the Compliance page!
New Legislation
Announcements
Rules Education
Hot Topics
Q&A
Prospects
Boosters
Compliance Forms
S-A Handbook
Recruiting Calendars
Welcome to the World of Compliance presented
at the NCAA Regional Seminars
W
This interactive session will provide an introduction to
key compliance concepts, including institutional
control, shared responsibility and central coordination
of compliance systems, as well as documentation
procedures used to monitor eligibility, financial aid
and recruiting.
Compliance Meetings
Compliance
Resources
Contact Us
Compliance Resources
NCAA Regional Rules Seminar.
Conference office and NCAA conference contact program.
Calling NCAA membership services.
– 317/917-6003 (institutional line).
– 317/917-6222 (general public line).
Compliance Concepts
Review
 Key elements.
 Compliance procedures.
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Compliance committee structures.
Rules-education methods.
Interpretation procedures.
Investigating and self-reporting.
Ongoing compliance tasks.
Compliance resources.
Questions
Compliance Concepts
THANK YOU FOR ATTENDING!!